probate court rules of procedure

8/10/2019 Probate Court Rules of Procedure

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CONN

ECTICUT

P

ROBATE CO

URT

S

PROBATE COURT

RULES OF PROCEDURE2013

Published by

OFFICE OF THE

PROBATE COURT ADMINISTRATOR

STATE OF CONNECTICUT


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Probate Court Rules of Procedure

CONTAINING

GENERAL PROVISIONS

RULES FOR ALL CASE TYPES

RULES FOR SPECIFIC CASE TYPES

RULES FOR HEARINGS

REFERENCES TO CONNECTICUT GENERAL STATUTES

Published by

PROBATE COURT ADMINISTRATOR

STATE OF CONNECTICUT

West Hartford 2013


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2013 Probate Court Administrator, State of Connecticut


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Explanatory Notes

All provisions of the 2013 edition are effective on July 1, 2013. Effective dates andsummaries of subsequent amendments will be added in future editions.

Annotations are contained in parentheses following certain sections of these rules. Thepurpose of the annotations is to alert users to statutes, cases, rules and other sources of lawthat are related to the subject matter of the section.

iii


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State of Connecticut


Table of Contents

Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xv

Probate Court Rules Advisory Committee . . . . . . . . . . . . . . . . . . . . . . . . . . . xvi

GENERAL PROVISIONS

Rule 1 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Rule 2 Applicability of Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

Rule 3 Clerks, Files and Records. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4


Rule 4 Parties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Rule 5 Self-representation; Representation by Attorney and Appearance . . . . . . . . . . 6

Rule 6 Probate Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

Rule 7 Fi l ing Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

Rule 8 Notice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

Rule 9 Counting Time Periods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

R u l e 1 0 C o n t i n u a n c e s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 6

Rule 11 Service of Process on Court as Agent . . . . . . . . . . . . . . . . . . . . . . . . 17

Rule 12 Court-appointed Attorney . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

Rule 13 Court-appointed Guardian Ad Litem . . . . . . . . . . . . . . . . . . . . . . . . . 20

Rule 14 Referral to Probate Magistrate and Attorney Probate Referee. . . . . . . . . . . 22

Rule 15 Disqualif icat ion of Judge. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

Rule 16 Public Access to Hearings and Records . . . . . . . . . . . . . . . . . . . . . . . 26

Rule 17 Confidentiality of Social Security Numbers. . . . . . . . . . . . . . . . . . . . . . 29

Rule 18 Transfer of Matter between Probate Courts . . . . . . . . . . . . . . . . . . . . . 30

Rule 19 Pending Matter in another Court . . . . . . . . . . . . . . . . . . . . . . . . . . . 31

Rules 2029 Reserved for Future Use. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31


Rule 30 Decedents Estates. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

Rule 31 Estate Tax Matters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40

R u l e 3 2 T r u s t s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 2R u l e 3 3 C o n s e r v a t o r s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 5

Rule 34 Guardians of Estates of Minors . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50

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R u l e 3 5 Pr o b a t e Bo n d s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 3

Rule 36 Fiduciary Accounting: General Provisions . . . . . . . . . . . . . . . . . . . . . . 56

Rule 37 Fiduciary Accounting: Requirements for Financial Reports. . . . . . . . . . . . . 59

Rule 38 Fiduciary Accounting: Requirements for Accounts . . . . . . . . . . . . . . . . . 61

Rule 39 Fiduciary and Attorneys Fees. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65Rule 40 Childrens Matters: General Provisions. . . . . . . . . . . . . . . . . . . . . . . . 66

Rule 41 Childrens Matters: Regional Childrens Probate Courts . . . . . . . . . . . . . . 70

Rule 42 Childrens Matters: Overlapping Jurisdiction in Superior and Probate Courts . . 71

Rule 43 Guardians of Adults with Intellectual Disability . . . . . . . . . . . . . . . . . . . 73

Rule 44 Commitment for Treatment of Psychiatric Disability. . . . . . . . . . . . . . . . . 74

Rule 45 Proceedings for Medication and Treatment of Psychiatric Disability . . . . . . . 76

Rule 46 Commitment for Treatment of Drug and Alcohol Dependency . . . . . . . . . . . 78

R u l e 4 7 C h a n g e o f N a m e . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 9

Rules 4859 Reserved for Future Use. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80

RULES FOR HEARINGS

Rule 60 Conferences before the Court. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81

R u l e 6 1 D i s c o v e r y . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 2

Rule 62 Evidence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85

Rule 63 Witnesses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 6

Rule 64 Exhibits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87

Rule 65 Audio and Stenographic Recording of Hearing . . . . . . . . . . . . . . . . . . . 88

Rule 66 Participation in Hearing by Electronic Means . . . . . . . . . . . . . . . . . . . . 90

R u l e 6 7 I n t e r p r e t e r s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 1

Rule 68 Ex Parte Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92

Rule 69 Orders without Notice and Hearing . . . . . . . . . . . . . . . . . . . . . . . . . . 93

Rule 70 Alternative Remedies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94

Rule 71 Enforcement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95

Rule 72 News Media Coverage. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97

References to Connecticut General Statutes . . . . . . . . . . . . . . . . . . . . . . . . . 99

Index. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103

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TABLE OF RULE AND SECTION HEADINGS

State of Connecticut


Table of Rule and Section Headings

GENERAL PROVISIONS

Rule 1 Definitions

Section1.1 Definitions

Rule 2 Applicability of Rules

Section2.1 Title2.2 Applicability2.3 Purpose


Rule 4 Parties

Section

4.1 Parties4.2 Fiduciary as party

Rule 5 Self-representation; Representa-tion by Attorney and Appearance

Section

5.1 Representation before court5.2 Out-of-state attorney appearing pro hac

vice5.3 Legal intern5.4 When appearance required to be filed5.5 Form of appearance5.6 Effect of appearance on ability to chal-

lenge jurisdiction5.7 Withdrawal of appearance5.8 Change of law firm name or contact

information

Rule 6 Probate Fees

Section

6.1 Entry fee6.2 Waiver of probate fees and expenses6.3 Withdrawal of petition

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Rule 3 Clerks, Files and Records

Section

3.1 Duties of clerk3.2 Uniform numbering system3.3 Decrees to be in writing3.4 Safekeeping of record3.5 Lost document

6.4 Payment of probate fees and expensesrequired before final decree

6.5 Copy of decree with court seal

Rule 7 Filing Requirements

Section

7.1 General filing requirements

7.2 Commencing a proceeding7.3 Forms7.4 Signature required

Rule 8 Notice

Section

8.1 Notice of hearing and decree8.2 To whom notice is given8.3 Change of address while matter is

pending8.4 Contents of notice of hearing8.5 How notice of hearing given8.6 Streamline notice procedure

8.7 Waiver of notice of hearing8.8 Address unknown; notice of hearing

returned undelivered8.9 Notice of hearing for member of mili-

tary service8.10 Notice of decree


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Rule 9 Counting Time Periods

Section9.1 Counting time periods9.2 Extension of time period

Rule 10 Continuances

Section10.1 Continuation of hearing10.2 Assessment of expenses if hearing

continued

Rule 11 Service of Process on Court asAgent

Section11.1 Service of process on court as agent

Rule 12 Court-appointed Attorney

Section12.1 When attorney appointed12.2 Appointment from panel of attorneys

maintained by probate court adminis-trator

12.3 Appointment from panel of attorneysmaintained by court

12.4 Court-appointed attorney: Rules ofProfessional Conduct

12.5 Duration of appointment12.6 Withdrawal from court appointment

Rule 13 Court-appointed Guardian AdLitem

Section13.1 Mandatory appointment of guardian

ad litem13.2 Discretionary appointment of guardianad litem

13.3 Scope of appointment13.4 Termination of appointment13.5 Who may serve as guardian ad litem13.6 Duties of guardian ad litem13.7 Instruction and advice from court13.8 Guardian ad litem may appeal from

court order

Rule 14 Referral to Probate Magistrate andAttorney Probate Referee

Section

14.1 Referral to probate magistrate andattorney probate referee

14.2 Hearing before probate magistrate orattorney probate referee

14.3 Report of probate magistrate or attor-ney probate referee

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14.4 Amendment to report14.5 Objection to report or amendment14.6 Hearing on report14.7 Issuance of decree on report14.8 Continuance or deferral of court action

pending decision on report

Rule 15 Disqualification of JudgeSection15.1 Applicability15.2 When disqualification of judge is

required15.3 Motion for disqualification of judge15.4 Hearing and decision on motion for

disqualification15.5 Lawsuit or complaint against judge15.6 Disclosure and waiver of disqualifica-

tion15.7 Judge to act for disqualified judge

Rule 16 Public Access to Hearings and

RecordsSection16.1 Public access to hearings and records16.2 Statutorily confidential matters in gen-

eral16.3 Redaction of name or address of party

in statutorily confidential matter16.4 Confidentiality of judges notes16.5 Confidentiality of social security num-

bers16.6 Motion to close hearing or seal record

in nonconfidential matter16.7 Hearing on motion to close hearing or

seal record in nonconfidential matter16.8 Order to close hearing or seal record

in nonconfidential matter16.9 Public access to motion, hearing and

order to close hearing or seal recordin non-confidential matter

16.10 Vacating order to close hearing orseal record

16.11 Power to maintain order during hear-ings

Rule 17 Confidentiality of Social SecurityNumbers

Section

17.1 Omission or redaction of social secu-rity number

17.2 When social security number required17.3 When social security number not

required17.4 Original documents


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17.5 Disclosure to state and federal agen-cies

Rule 18 Transfer of Matter between Pro-bate Courts

Section18.1 Hearing on application to transfer

guardianship matter


Rule 30 Decedents Estates

Section

30.1 When streamline notice proceduremay be used in decedents estate pro-

ceeding30.2 Death certificate or other proof ofdeath

30.3 Court may require petitioner to submitfamily tree

30.4 Court to inform petitioner of purportedwill in its custody

30.5 Notice in proceeding to grant adminis-tration of intestate estate

30.6 Notice in proceeding to admit will toprobate

30.7 Petitioner seeking admission of pur-ported will to send copy to parties

30.8 Appointment of guardian ad litem inproceeding to admit purported will toprobate

30.9 Appointment of guardian ad litem inintestate estate or after admission ofwill

30.10 Notice in testate estates after admis-sion of will

30.11 Notice when heir or beneficiary is aforeign citizen

30.12 Executor or administrator to sendcopy of inventory, financial report andaccount to each party and attorney

30.13 Conflicting petitions for appointment

of commissioner of administrativeservices as legal representative andsettlement using small estates proce-dure

30.14 Settlement of claims in favor of dece-dents estate

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18.2 Transfer of conservatorship matter

Rule 19 Pending Matter in another Court

Section

19.1 Duty to notify court of pending matterin another court

30.15 Sale of real property from decedentsestate

30.16 Distribution from estate to minor orbeneficiary who is incapable of man-aging his or her affairs

30.17 Mutual distribution agreement30.18 Distribution that bypasses inopera-

tive trust30.19 When executor or administrator to

submit financial report or account30.20 Required contents of financial report

or account of executor or administra-tor

30.21 When executor or administrator tosubmit status update

30.22 When inventory and final financialreport or account of temporaryadministrator excused

30.23 Final financial report or accountexcused when estate eligible to besettled as a small estate

30.24 Administrative closure of decedentsestate

30.25 Construction, title and cy pres petitionrelating to decedents estate

Rule 31 Estate Tax Matters

Section

31.1 Applicability31.2 Requirements for estate tax forms for

nontaxable estates

31.3 Valuation of property for nontaxableestates

31.4 Amended tax forms for nontaxableestates

31.5 Procedure when court unable to deter-mine if estate is nontaxable


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31.6 Domicile declaration for nontaxableestates

31.7 Recording attachments to estate taxforms

31.8 Confidentiality of information on filedtax form

Rule 32 Trusts

Section

32.1 When streamline notice proceduremay be used in trust proceeding

32.2 Notice in trust proceeding32.3 Virtual representation and appoint-

ment of guardian ad litem in trust pro-ceeding

32.4 Trustee to send copy of inventory,financial report and account to eachparty and attorney

32.5 When trustee to submit financial report

or account32.6 Required contents of financial reportor account of trustee

32.7 When final financial report or accountof trustee excused

32.8 Reimbursement of probate fees topetitioner in trust proceeding

32.9 Construction, title and cy pres petitionrelating to trust

Rule 33 Conservators

Section

33.1 When streamline notice procedure

may be used in conservatorship pro-ceeding

33.2 Petition for voluntary representation tobe heard before petition for involuntaryconservatorship

33.3 Appointment of temporary conservatorwithout notice and hearing

33.4 Extension of temporary conservator-ship pending decision on conservator-ship petition

33.5 Motion to close conservatorship hear-ing to public during presentation ofmedical evidence

33.6 Criminal background check33.7 Court to review qualifications of pro-

posed conservator33.8 Conservator of estate to send copy of

inventory, financial report and accountto each party and attorney

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33.9 Jointly-owned assets and joint liabili-ties

33.10 Establishment and funding of trustwith conservatorship assets

33.11 Settlement of claims in favor of con-servatorship estate

33.12 Sale of real property from conserva-torship estate

33.13 Release of funds from restrictedaccount in conservatorship estate

33.14 When conservator to submit financialreport or account

33.15 Required contents of financial reportor account of conservator of estate

33.16 When conservator of estate to verifyrestricted account in force

33.17 Periodic or final financial report oraccount excused when person underconservatorship is Title 19 recipient

33.18 Sterilization33.19 Reimbursement of probate fees to

petitioner in conservatorship ofestate proceeding

33.20 Petition to determine title relating toconservatorship

Rule 34 Guardians of Estates of Minors

Section34.1 When streamline notice procedure

may be used in estate of minor pro-ceeding

34.2 Hearing to review duties of guardianof estate

34.3 Guardian of estate to send copy ofinventory, financial report and accountto each party and attorney

34.4 Restriction on use of estate of minorfor support obligations

34.5 Settlement of claims in favor of estateof minor

34.6 Sale of real property from estate ofminor

34.7 Release of funds from restrictedaccount in estate of minor

34.8 When guardian of estate to submitfinancial report or account

34.9 Required contents of financial reportor account of guardian of estate

34.10 When guardian of estate to verifyrestricted account in force

34.11 When estate assets fall below statu-tory threshold for guardianship

34.12 Reimbursement of probate fees topetitioner in estate of minor proceed-ing


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34.13 Petition to determine title relating toestate of minor

Rule 35 Probate Bonds

Section

35.1 When probate bond required

35.2 Probate bond to be filed beforeappointment35.3 Corporate surety required35.4 Form of probate bond35.5 Probate bond to secure performance

of all cofiduciaries35.6 Amount of probate bond35.7 Restricted account35.8 Fiduciary to report increase in value of

estate35.9 Adjustments to amount of probate

bond35.10 Surety on additional probate bond35.11 Release of probate bond35.12 Action on probate bond

Rule 36 Fiduciary Accounting: GeneralProvisions

Section

36.1 Methods of accounting36.2 Financial reports distinguished from

accounts36.3 When account is required instead of

financial report36.4 Financial reports and accounts to pre-

sent information in clear manner andbe signed under penalty of false state-

ment36.5 Fiduciary to send copies of financial

report or account to all parties36.6 When executor or administrator to

submit financial report or account36.7 When trustee to submit financial report

or account36.8 When final financial report or account

of trustee excused36.9 When conservator to submit financial

report or account36.10 Periodic or final financial report or

account excused when person under

conservatorship is Title 19 recipient36.11 When guardian of estate to submit

financial report or account36.12 Affidavit of closing36.13 Records to be maintained by fidu-

ciary

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36.14 Definition of fiduciary acquisitionvalue

Rule 37 Fiduciary Accounting: Require-ments for Financial Reports

Section37.1 Decedents estate: requirements for

financial report37.2 Trusts: requirements for financial

report37.3 Conservatorship, guardianship and

other estates: requirements for finan-cial reports

37.4 Reporting distributions in financialreport

Rule 38 Fiduciary Accounting: Require-ments for Accounts

Section38.1 When principal and income to be

reported separately38.2 Contents of account when principal

and income transactions combined38.3 Contents of account when principal

and income activities reported sepa-rately

38.4 Reporting distributions in account38.5 Account required to balance

Rule 39 Fiduciary and Attorneys Fees

Section39.1 Fiduciary and attorneys fees39.2 Task statement of fiduciary and attor-

ney

Rule 40 Childrens Matters: General Provi-sions

Section40.1 When streamline notice procedure

may be used in childrens matter40.2 Appointment of attorney and guardian

ad litem for minor40.3 Immediate temporary custody of a

minor40.4 Order for immediate temporary cus-

tody without notice and hearing40.5 Appointment of temporary custodian

on consent40.6 Removal of parent and appointment of

guardian on consent40.7 Reinstatement as guardian40.8 Temporary guardianship40.9 Public notice in termination proceed-

ing when name or location of parentunknown


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40.10 Pre-adoption hearing40.11 Appointment of out-of-state child-

placing agency as statutory parent togive child in adoption

40.12 Adoption by same sex married cou-ple

40.13 Notice in adult adoption proceeding40.14 In-court review for possible modifica-

tion of order40.15 Criminal background check40.16 Transfer of contested removal or ter-

mination petition to Superior Court40.17 Appointment of commissioner of chil-

dren and families as temporary cus-todian or guardian

Rule 41 Childrens Matters: Regional Chil-drens Probate Courts

Section41.1 Transfer of childrens matter to

Regional Childrens Probate Court41.2 Duties of probate court officer41.3 Files and reports of probate court offi-

cer

Rule 42 Childrens Matters: OverlappingJurisdiction in Superior and ProbateCourts

Section42.1 Prior pending matter in Superior Court42.2 Petition in Superior Court when prior

matter pending in Probate Court42.3 Petition in Superior Court when Pro-

bate Court grants custody or guardian-ship to

commissioner of children and families42.4 Emergency action by the commis-

sioner of children and families whenprior matter pending in Probate Court

42.5 Safety and service agreement

Rule 43 Guardians of Adults with Intellec-tual Disability

Section43.1 Criminal background check43.2 Sterilization

Rule 44 Commitment for Treatment of Psy-chiatric Disability

Section44.1 Confidentiality of psychiatric commit-ment proceeding

xii

44.2 Audio recording of psychiatric commit-ment proceeding

44.3 Notice and procedures in probablecause hearing

44.4 Notice of hearing on psychiatric com-mitment

44.5 Warrant for examination of individual16 years or older at general hospital

44.6 Warrant for examination of child atgeneral hospital

44.7 Warrant for court to examine individual16 years or older

44.8 Voluntary admission of person underconservatorship

Rule 45 Proceedings for Medication andTreatment of Psychiatric Disability

Section

45.1 Confidentiality of proceeding for medi-cation to treat psychiatric disability orshock therapy

45.2 Audio recording of proceeding formedication or treatment of psychiatricdisability

45.3 Where to file petition for medication totreat psychiatric disability

45.4 Notice of hearing on petition for medi-cation to treat psychiatric disability

45.5 Petition for shock therapy

Rule 46 Commitment for Treatment ofDrug and Alcohol Dependency

Section

46.1 Confidentiality of drug and alcoholdependency commitment proceeding

Rule 47 Change of Name

Section47.1 Change of name of adult47.2 Change of name of minor47.3 Single petition for change of name for

family47.4 Criminal background and sex offender

registry check; notification to Depart-ment of Emergency Services and Pub-lic Protection


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RULES FOR HEARINGS

Rule 60 Conferences before the Court

Section

60.1 Status conference

60.2 Hearing management conference

Rule 61 Discovery

Section61.1 When permission of court is required61.2 When interrogatories, request for pro-

duction and request for admission per-mitted

61.3 Taking deposition61.4 Interrogatories61.5 Request for production, inspection and

examination

61.6 Request for admission61.7 Answer to interrogatories, request for

production and request for admission61.8 Continuing duty to disclose61.9 Objection to interrogatory or request

for production or admission61.10 Order for compliance61.11 Summons to testify61.12 Order to obtain medical records

Rule 62 Evidence

Section62.1 Rules of evidence

Rule 63 WitnessesSection63.1 Administration of oath63.2 When sequestration of witness permit-

ted

Rule 64 Exhibits

Section64.1 Exhibits to be marked64.2 Retention of exhibits64.3 Exhibits in matter appealed to Superior

Court64.4 Disposition of exhibits

Rule 65 Audio and StenographicRecording of Hearing

Section65.1 Making and maintaining audio

recordings

xiii

65.2 Transcript of recorded hearing65.3 Official stenographic record on

agreement of parties65.4 Stenographic record without

agreement of parties65.5 Prohibition on recording hearing by

other means

Rule 66 Participation in Hearing by Elec-tronic Means

Section

66.1 When participation by electronicmeans permitted

Rule 67 Interpreters

Section

67.1 Party or witness with hearing impair-ment

67.2 Interpreter permitted for languagetranslation

Rule 68 Ex Parte Communication

Section

68.1 Ex parte communication prohibited

Rule 69 Orders without Notice and Hear-ing

Section

69.1 When order without notice and hearingpermitted

Rule 70 Alternative Remedies

Section

70.1 Alternative remedies

Rule 71 Enforcement

Section

71.1 Failure of fiduciary to perform duties

71.2 Capias to compel attendance71.3 Types of contempt71.4 Audio recording of contempt hearing71.5 Summary criminal contempt71.6 Nonsummary criminal contempt71.7 Civil contempt


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Rule 72 News Media Coverage

Section

72.1 News media coverage permitted72.2 News media coverage not permitted72.3 Conference to establish conditions of

news media coverage

xiv

72.4 Objection to news media coverage72.5 Recording and photographic equip-

ment72.6 Pooling arrangement for news media72.7 Public comment by attorney


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Preface

Connecticuts Probate Courts are responsible for a broad range of cases that affect ourmost vulnerable citizens, and the common thread among those cases is the importance andintensely personal nature of the issues for the individuals and families involved. Given thesensitivity of probate cases, the mission of the Probate Courts is to provide an accessible

and approachable forum in which those cases can be resolved quickly, economically andequitably. The purpose of the rules of procedure contained in this book is to promote thatmission.

The procedural rules for the Probate Courts were previously compiled in the ConnecticutProbate Practice Book, which was first published in May 1974. This publication is the firstcomprehensive revision of the rules since then. It has been renamed Probate Court Rulesof Procedureto reflect the significance of the changes. The revised rules are effective July1, 2013.

Probate Court Rules of Procedurebuilds on the successes of the structural improvementsto the Probate Court system that were implemented in 2011. Court restructuring strengthenedthe professionalism of the system, improved access to the courts and streamlined administra-tive operations. The revised rules, similarly, establish best practices, promote uniformity and

make it easier to use the Probate Courts. Clear procedures in all areas of probate jurisdictionprovide guidance to court users, attorneys, court staff and judges. The book is written in user-friendly language to assist individuals who represent themselves. Simplified procedures reducethe administrative burdens associated with uncontested cases, while new provisions governingthe conduct of hearings give judges the tools to expedite contested cases and minimize costsfor the individuals involved.

This book is the product of a yearlong effort by an extraordinarily dedicated group ofindividuals. The members of the Probate Court Rules Advisory Committee, who are listed onthe following page, include judges, retired judges, court staff, attorneys and individuals withprofessional backgrounds in accounting and social services. In addition to contributing awealth of knowledge and varied perspectives, they volunteered countless hours to analysis,drafting and discussion. I am truly indebted to them for their service. Justice Peter Zarellawas enormously helpful in providing guidance on court rule making and shepherding our

proposal through the Supreme Court. And a very special thanks to Attorney David Biklen,who served as the committee reporter, and to my colleagues at probate administration,Attorney Tom Gaffey and Attorney Bonnie Bennet. The project simply would not have beenpossible without their wisdom and diligence.

Lastly, I want to emphasize that Probate Court Rules of Procedureshould be considereda work in progress. The advisory committee will continue working to improve the rules andannual updates are planned. I welcome comments and suggestions from those who use thecourts to assist us in that effort.

Paul J. KnierimProbate Court Administrator

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Probate Court Rules Advisory Committee2011-2012

Chair

Hon. Paul J. KnierimSubcommittee ChairsHon. Michael A. AlbisHon. Brian T. Mahon

Hon. Steven M. Zelman

MembersMary M. Ackerly, Esq.Helen B. Bennet, Esq.

Douglas R. Brown, Esq.Prof. Jeffrey A. Cooper

Suzette FarrarHon. Gerald M. Fox, Jr.

Thomas E. Gaffey, Esq.Karen Gano, Esq.Paul A. Hudon, Esq.

Christopher J. Hug, Esq.Patricia R. Kaplan, Esq.

Hon. Robert K. Killian, Jr.Gabriella G. Kiniry, Esq.

Andrew S. Knott, Esq.Hon. John J. McGrath

Stephen A. Pedneault, CPACarmine P. Perri, Esq.

Greta E. Solomon, Esq.Hon. Beverly K. Streit-Kefalas

Arthur L. Teal, Sr.Hon. Claire C. TwerdySondra J. Waterman

Committee ReporterDavid D. Biklen, Esq.

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GENERAL

PROVISIONS


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PROBATE COURT RULES GENERAL PROVISIONS Section 1.1

Rule 1

Definitions

Section1.1 Definitions

Section 1.1 Definitions

In these rules:(1) Account means a document meet-

ing the requirements of rule 36 by which afiduciary provides detailed information aboutthe management of an estate.

(2) Beneficiary of a decedents estatemeans a person or fiduciary that is or maybe entitled to a bequest or devise under a will.

(3) C.G.S. means the ConnecticutGeneral Statutes.

(4) Clerk means a chief clerk, deputyclerk, clerk or assistant clerk of the court.

(5) Contingent remainder beneficiarymeans a trust beneficiary who would be apresumptive remainder beneficiary on thedate the beneficiarys interest is determinedif the interest of another presumptive remain-der beneficiary terminated because a condi-tion specified in the will or other governinginstrument is not met.

(6) Corporate fiduciary means a bank,trust company or other corporation or busi-ness entity authorized to act as a fiduciary in

this state.(7) Corporate surety means a corpora-

tion or other business entity authorized toenter into contracts of suretyship for probatebonds in this state.

(8) Court means a Probate Court.(9) Current beneficiary means a trust

beneficiary who, on the date the beneficiarysinterest is determined, is a distributee or per-missible distributee of trust income orprincipal.

(10) Decree means a written decision,order, grant, denial, opinion or other ruling of

the court.(11) DRS means the Department of

Revenue Services.(12) Estate means a decedents

estate, trust, conservatorship estate, estateof a minor or other legal structure under which

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a fiduciary has a duty to manage assets heldfor the benefit of one or more persons.

(13) Fiduciary means a person servingas an administrator, executor, conservator ofthe estate, conservator of the person, guard-ian of an adult with intellectual disability,guardian of the estate of a minor, guardianof the person of a minor, temporary custodianof the person of a minor, trustee or personserving in any other role that the court deter-mines is fiduciary in nature.

(14) Financial report means a simpli-fied form of accounting meeting the require-ments of rule 37 by which a fiduciary providessummary information about the managementof an estate.

(15) Heir means an individual whowould take any share of the estate of a dece-dent who died intestate.

(16) Intestate means having died with-out a valid will.

(17) Minor has the meaning providedin C.G.S. section 45a-604 (4).

(18) Motion means a written filing

seeking court action that is incidental to thematter before the court.

(19) News media means an entity, orrepresentative of an entity, that is regularlyengaged in the gathering and disseminationof news and is approved by the office of thechief court administrator.

(20) News media coverage meansbroadcasting, televising, recording or photo-graphing a hearing or conference by newsmedia.

(21) Nontaxable estate means theestate of a decedent whose Connecticut tax-

able estate is less than or equal to the amountthat is exempt from the Connecticut estatetax under C.G.S. section 12-391.

(22) Party means a person having alegal or financial interest in a proceedingbefore the court, a fiduciary under section


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PROBATE COURT RULES GENERAL PROVISIONSSection 1.1

4.2 and any other person whom the courtdetermines to be a party. The term has thesame meaning as interested party.

(23) Person means an individual orentity.

(24) Person under conservatorshipmeans a conserved person as defined underC.G.S. section 45a-644 (h) or a person undervoluntary representation under C.G.S. sec-tion 45a-646.

(25) Personal surety means a suretythat does not meet the requirements to be acorporate surety.

(26) Petition means a written filing thatcommences a matter in the court. The termhas the same meaning as application.

(27) Presumptive remainder benefi-ciary means a trust beneficiary who wouldbe a distributee or permissible distributee oftrust income or principal on the date the bene-

ficiarys interest is determined if:(A) the trust terminated on the date; or(B) the interests of the current benefici-

aries terminated on the date without causingthe trust to terminate.

(28) Probate bond has the meaningprovided in C.G.S. section 45a-139.

(29) Probate court administratormeans the individual holding the office of theprobate court administrator of this state.

(30) Probate Court Rules means theConnecticut Probate Court Rules of Pro-cedure.

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(31) Public notice has the meaningprovided in C.G.S. section 45a-126.

(32) Purported will means an instru-ment purporting to be a decedents last willand testament and any codicil to it that hasnot been admitted to probate.

(33) Structured settlement means anarrangement under which a claimant acceptsdeferred payment of some or all of the pro-ceeds of the settlement of a disputed ordoubtful claim.

(34) Taxable estate means the estateof a decedent whose Connecticut taxableestate exceeds the amount that is exemptfrom the Connecticut estate tax under C.G.S.section 12-391.

(35) Testate means having died leav-ing a valid will.

(36) Trust beneficiary means a person

that has a present or future beneficial interestin a trust, whether vested or contingent.

(37) Trust protector means a personidentified in a will or other governing instru-ment who is charged with protecting the inter-ests of a trust beneficiary and is identified asa trust protector, trust advisor, or beneficiarysurrogate, or as a person in an equivalentrole.

(38) Will means an instrument and anycodicil to it admitted to probate as the lastwill and testament of a decedent.


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PROBATE COURT RULES GENERAL PROVISIONS Section 2.3

Rule 2

Applicability of Rules

Section Section2.1 Title2.2 Applicability

Section 2.1 Title

These rules shall be known as the Con-necticut Probate Court Rules of Procedure.

Section 2.2 Applicability

(a) These rules govern practice and proce-dure in the Connecticut Probate Courts andare mandatory in the courts.

(b) The rules do not apply to appeals fromprobate in the Superior Court, matters trans-ferred from a Probate Court to the Superior

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2.3 Purpose

Court or any other probate matter in the Supe-rior Court.

(c) If a rule conflicts with statute, the stat-ute governs.

(C.G.S. sections 45a-78 and 51-84.)

Section 2.3 PurposeThe purpose of these rules is to facilitate

the efficient conduct of business in the Pro-bate Courts and to advance justice. The courtmay interpret these rules liberally if strictadherence will cause injustice.


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PROBATE COURT RULES GENERAL PROVISIONSSection 3.1

Rule 3

Clerks, Files and Records

Section Section3.1 Duties of clerk3.2 Uniform numbering system3.3 Decrees to be in writing

Section 3.1 Duties of clerk

(a) A clerk shall:(1) receive papers and documents filed

with the court and transferred from othercourts;

(2) make and maintain a record ofeach proceeding;

(3) have custody of and maintain therecords of the court and any former courtmerged into the probate district;

(4) schedule and give notice of hearings;(5) bill and collect probate fees; and(6) perform all other duties as directed

by the judge or required by law.(b) The clerk shall send a copy of each

decree to each party and attorney of record.The clerk shall record the date the notice wasmailed in accordance with section 8.10 (c).

(C.G.S. sections 45a-11, 45a-186 (a) and

51-53 (a); Probate Court Rules, rule 8.)

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3.4 Safekeeping of record3.5 Lost document

Section 3.2 Uniform numbering systemThe court shall use a uniform numbering

system prescribed by the probate courtadministrator to identify each matter beforethe court.

Section 3.3 Decrees to be in writingDecrees shall be in writing. The court shall

memorialize each oral ruling in writing.(C.G.S. section 45a-24.)

Section 3.4 Safekeeping of recordA clerk shall not permit court records to be

taken from the court without the judgesauthorization.

Section 3.5 Lost documentExcept for a purported will or will, if a docu-

ment in the court file is mislaid, lost ordestroyed, a party may substitute a copy ifthe clerk is satisfied that it is an accurate andcomplete copy of the original. The clerk shallmake a notation on the substitute document

that it is a copy.


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RULES FOR

ALL CASE TYPES


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PROBATE COURT RULESRULES FOR ALL CASE TYPES Section 4.2

Rule 4

Parties

Section Section4.1 Parties

Section 4.1 Parties

(a) Except as otherwise permitted by thecourt, only a party may participate in a pro-ceeding before the court.

(b) The listing of a person on an order ofnotice does not make the person a party.

(C.G.S. section 45a-127; Probate CourtRules, section 1.1 (22) and rule 16.)

Section 4.2 Fiduciary as party

(a) An executor or administrator of a dece-dents estate is a party:

(1) in the estate proceeding in which theexecutor or administrator was appointed; and

(2) in any other probate proceeding inwhich the estate has an interest.

(b) A trustee of a trust is a party:(1) in the trust proceeding in which the

trustee was appointed or, if the trustee wasnot appointed by the court, in a trust proceed-ing concerning the trust for which the trusteeacts; and

(2) in any other probate proceeding inwhich the trust has an interest.

(c) A conservator is a party:(1) in the conservatorship proceeding in

which the conservator was appointed; and(2) in any other probate proceeding in

which the person under conservatorship hasan interest if the subject of the proceeding iswithin the scope of the conservatorsauthority.

(d) A guardian of the estate of a minor isa party:

(1) in the guardianship proceeding inwhich the guardian was appointed; and

(2) in any other probate proceeding that

affects the estate of the minor.

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4.2 Fiduciary as party

(e) A temporary custodian or guardian ofthe person of a minor is a party:

(1) in the guardianship proceeding inwhich the custodian or guardian wasappointed; and

(2) in any other probate proceeding inwhich the minor has an interest if the subjectof the proceeding is within the scope of theauthority of the custodian or guardian.

(f) A guardian of an adult with intellectualdisability is a party:

(1) in the guardianship proceeding inwhich the guardian was appointed; and

(2) in any other probate proceeding inwhich the person under guardianship has aninterest if the subject of the proceeding iswithin the scope of the guardians authority.

(g) A guardian ad litem is a party:(1) in the proceeding in which the guard-

ian was appointed; and(2) in any other probate proceeding in

which the person for whom the guardian adlitem acts has an interest if the subject of theproceeding is within the scope of the guardian

ad litems appointment.(h) The court shall recognize any other fidu-

ciary as a party:(1) in a probate proceeding in which the

court has jurisdiction to review and supervisethe actions of the fiduciary; and

(2) in any other probate proceeding ifthe court determines that the subject of theproceeding is within the scope of the fiducia-rys duties and participation of the fiduciaryis necessary to protect the interests of theindividual for whom the fiduciary acts.

(C.G.S. sections 45a-487a through 45a-

487d.)


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PROBATE COURT RULESRULES FOR ALL CASE TYPESSection 5.1

Rule 5

Self-representation;Representation by Attorney and

Appearance

Section Section

5.1 Representation before court5.2 Out-of-state attorney appearing pro

hac vice

5.3 Legal intern

5.4 When appearance required to be filed

Section 5.1 Representation beforecourt

(a) A party who is an individual may repre-sent himself or herself without an attorney.

(b) Except as provided in section 5.2 or5.3, only an attorney licensed to practice lawin Connecticut may represent a party beforethe court.

(c) Nothing in this rule shall prevent a fidu-ciary, except a corporate fiduciary, from rep-resenting himself or herself, as fiduciary,without an attorney.

(C.G.S. section 51-88; State Bar Assn. v.Connecticut Bank & Trust Co., 145 Conn.222, 140 A.2d 863 (1958); State Bar Assn.v.Connecticut Bank & Trust Co., 146 Conn.556, 153 A.2d 453 (1959); Probate CourtRules, section 4.2.)

Section 5.2 Out-of-state attorneyappearing pro hac vice

(a) An attorney licensed to practice law inConnecticut may move to permit an attorneyin good standing in another state, the Districtof Columbia or Puerto Rico to appear pro hacvice for a party. The moving attorney shallaccompany the motion with:

(1) an affidavit of the out-of-stateattorney:

(A) certifying whether the out-of-stateattorney has any disciplinary matter pendingin another jurisdiction, has ever been repri-manded, suspended, placed on inactive sta-

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5.5 Form of appearance5.6 Effect of appearance on ability to chal-lenge jurisdiction

5.7 Withdrawal of appearance5.8 Change of law firm name or contact

information

tus, disbarred or otherwise disciplined, or hasever resigned from the practice of law and,if so, setting forth the circumstances concern-ing the discipline or resignation;

(B) agreeing to register with the state-wide grievance committee in accordance withthe provisions of the Connecticut PracticeBook while appearing in the matter and fortwo years after completion of the matter andimmediately notify the grievance committeeof the expiration of the two-year period; and

(C) identifying the number of matters inwhich the out-of-state attorney has appearedpro hac vice in the Probate Courts and theSuperior Court of this state; and

(2) a certificate, acknowledged before an

officer authorized to take acknowledgementsof deeds, appointing the judge of probate andthe judges successors in office to be theattorneys agent for service of process.

(b) The court may grant a motion to appearpro hac vice only on special and infrequentoccasion. When deciding a motion under sub-section (a), the court shall consider the factsor circumstances affecting the personal orfinancial welfare of the party, not the out-of-state attorney, which may include:

(1) a longstanding attorney-client rela-

tionship predating the matter;(2) specialized skill or knowledge withrespect to the partys affairs important to thematter; or

(3) the clients inability to secure the ser-vices of a Connecticut attorney.


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(c) If the court permits an out-of-state attor-ney to appear pro hac vice, an attorneylicensed to practice law in this state shall:

(1) file an appearance;

(2) attend all proceedings with the attor-ney appearing pro hac vice;

(3) sign all documents filed with thecourt; and

(4) assume full responsibility for the con-duct of the matter and the attorney appearingpro hac vice.

(d) If the court permits an out-of-state attor-ney to appear pro hac vice, the court shallimmediately notify the statewide grievancecommittee.

(C.G.S. section 52-60.)

Section 5.3 Legal intern

(a) On motion of an attorney for a party,the court may permit a law student to serveas a legal intern on behalf of the party if theparty consents. The petitioner shall accom-pany the petition with a certification by anauthorized representative of the interns lawschool that the school is accredited and thatthe intern is in good standing.

(b) If the court permits the legal intern toappear, the attorney for the party shall:

(1) supervise the intern;(2) attend all proceedings with the intern;

(3) sign all documents filed with thecourt; and(4) assume full responsibility for the con-

duct of the matter and the intern.

Section 5.4 When appearance requiredto be filed

(a) A party representing himself or herselfis not required to file an appearance.

(b) Unless appointed by the court, an attor-ney representing a party shall file an appear-ance under section 5.5. If the requirementsof section 5.1 (b) or 5.2 are met, an attorney

in the appearing attorneys law firm mayappear for the party for whom the appearanceis filed without filing a separate appearance.

(c) A fiduciary without an attorney undersection 5.1 (c) is not required to file anappearance.

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Section 5.5 Form of appearance

(a) An appearance of an attorney shall:

(1) be typed or printed in ink;

(2) list in the heading the name of thematter, the name of the Probate Court andthe date of the appearance;

(3) be signed by the attorney makingthe appearance;

(4) contain the name and juris numberof the attorney and the name of the attorneyslaw firm, mailing address and telephone num-ber; and

(5) indicate whether the appearance isfiled in lieu of, or in addition to, an appearanceon file.

(b) An attorney shall send a copy of theappearance to each attorney and self-repre-sented party and certify to the court that the

copy has been sent.(c) If the appearance is in lieu of an appear-

ance on file, the attorney filing the newappearance shall, in addition to the require-ments of subsection (b), send a copy of thenew appearance to the attorney whoseappearance is to be replaced and certify tothe court that the copy has been sent.

Section 5.6 Effect of appearance onability to challenge jurisdiction

The filing of an appearance by an attorney,

by itself, does not waive the right of the partyrepresented by the attorney to challenge

jurisdiction of the court.

Section 5.7 Withdrawal of appearance

(a) If permitted under rule 1.16 of the Rulesof Professional Conduct, an attorney who isnot a court-appointed attorney may withdrawthe attorneys appearance by:

(1) filing a notice of withdrawal at leastthree business days before a scheduled hear-ing; and

(2) sending a copy of the withdrawal toeach attorney and self-represented party andcertifying to the court that the copy hasbeen sent.

(b) The three-day notice requirement undersubsection (a) does not apply if:


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(1) an attorney has filed an appearancein lieu of another appearance on file undersection 5.5; or

(2) the represented party has filed a writ-ten statement indicating that the party doesnot object to the withdrawal.

(Probate Court Rules, rule 12.6.)

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Section 5.8 Change of law firm name orcontact information

An attorney who has entered an appear-ance shall notify the court of a change ofname, mailing address or telephone number

of the attorneys law firm.


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Rule 6

Probate Fees

Section Section6.1 Entry fee6.2 Waiver of probate fees and expenses6.3 Withdrawal of petition

Section 6.1 Entry fee

(a) Except in a proceeding concerning adecedents estate or an accounting, a peti-tioner shall submit the statutory entry fee atthe time of filing a petition, unless:

(1) the court has waived or postponedthe fee or the matter is exempt under C.G.S.section 45a-111;

(2) the state of Connecticut is the peti-tioner; or

(3) the entry fee for a competing petitionin the same matter has already been paid.

(b) Except as provided under subsection(a), a petition does not commence a matteruntil the required fee is paid.

(C.G.S. sections 45a-105 through 45a-112.)

Section 6.2 Waiver of probate fees andexpenses

(a) A petitioner may request a waiver ofprobate fees and expenses, including thecost of service of process, at the time of filingthe underlying petition. The request shall beon a form published by the probate courtadministrator and shall include any support-ing information required by the court or theform.

(b) The court may waive payment of pro-bate fees and expenses if the court finds thata petitioner will be deprived of the right to

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6.4 Payment of probate fees and expensesrequired before final decree

6.5 Copy of decree with court seal

bring a petition by reason of indigence or thata petitioner is otherwise unable to pay.

(c) If the court waives payment of probatefees and expenses, the petitioner shall:

(1) notify the court of a substantialchange in financial circumstances during thependency of the matter; and

(2) file an updated request for waiver if

required by the court.(C.G.S. sections 45a-111 (c) and 52-259b.)

Section 6.3 Withdrawal of petition

If a petitioner withdraws a petition afternotice of hearing has been sent, the petitioneris not entitled to a refund of the entry feeand expenses. The petitioner shall pay anyexpenses incurred under C.G.S. section 45a-109 before the withdrawal is filed.

Section 6.4 Payment of probate feesand expenses required before final decree

Except as otherwise provided by statute,

the court may withhold issuance of a decreeon a final account in a decedents estate oran account in any other matter until all pro-bate fees and expenses have been paid.

Section 6.5 Copy of decree with courtseal

The court shall provide, without charge,one copy of each decree bearing the seal ofthe court to each party and attorney of record.


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Rule 7

Filing Requirements

Section Section7.1 General filing requirements

7.2 Commencing a proceeding

Section 7.1 General filing requirements

(a) A document filed with the court shall:(1) be typed or printed in ink;(2) be signed and dated in accordance

with section 7.4;(3) after the matter is commenced, refer

to the name that the court assigned the mat-ter; and

(4) satisfy the filing requirements undergoverning statutes and these rules.(b) The court may accept for filing a docu-

ment that is in substantial compliance withthe requirements of subsection (a).

(c) The clerk may require a party to correcta document by substituting a corrected orsubstituted document or page that complieswith subsection (a).

(d) When these rules require a person filinga petition or other document to send a copyof the petition or document to each party andattorney of record, the person shall certify tothe court that the copy has been sent.

(Probate Court Rules, sections 5.5, 5.7,10.1, 14.5, 30.7, 30.12, 32.4, 33.8, 34.3, 36.5,40.16, 41.1, 60.2, 61.9 and 71.7.)

Section 7.2 Commencing a proceeding

(a) To commence a proceeding, a peti-tioner shall file a petition, together with anyentry fee required under section 6.1. The peti-tion shall include:

(1) a description of the action sought andthe basis for the request;

(2) the name and address of each party;(3) the date of birth of each party who is

a minor; and(4) the name, address and position of

trust of the legal representative of any partywho has been adjudicated incapable.

(b) The petitioner shall use reasonableefforts to determine the name and address

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7.3 Forms

7.4 Signature required

of each party. If the petitioner is unable todetermine the name or address of a party,the petition shall include a statement describ-ing the efforts made to identify and locatethe party.

(c) A petitioner shall, in accordance withthe Servicemembers Civil Relief Act, indicatewhether a party is in the active military serviceof the United States when commencing a pro-ceeding concerning:

(1) a decedents estate;(2) a trust;(3) a childrens matter; or(4) any other matter in which adjudication

of an interest of a servicemember is sought.(Servicemembers Civil Relief Act, 50

U.S.C. app. section 521.)

Section 7.3 Forms

(a) The court shall accept a document if it:(1) is filed on the latest revision of a form

published by the probate court administra-

tor; and(2) complies with sections 7.1 and 7.2.

(b) The court may require documentationin addition to the information on the form.

(c) Unless otherwise required by statute orthese rules, use of a form published by theprobate court administrator is not required. Apetition not on a form published by the pro-bate court administrator shall comply with therequirements of statute and these rules.

Section 7.4 Signature required

(a) Except as provided in subsection (b),

the court shall not act on a request, motion,petition or other document unless it bears theoriginal signature of the individual filing it.

(b) The court may act on a request, motion,petition or document lacking an original sig-nature when in receipt of a:


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(1) written request for a hearing whenthe court has given notice using the stream-line notice procedure under section 8.6;

(2) document submitted by a stateagency with an electronic signature;

(3) motion or request made during ahearing;

(4) commitment petition, including arequest for a probable cause hearing, whenthe signed original petition will be deliveredto the court on or before the hearing; and

(5) request, motion, petition or documentif the court determines that action is neces-sary before the signed original is filed.

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(c) An attorney may sign a request, motion,petition or other document on behalf of a cli-ent unless it is required to be signed underoath or penalty of false statement.

(d) Except as provided in subsections (c)and (e), each cofiduciary shall sign a request,

motion, petition or other document filed ina matter.

(e) A cofiduciary may submit a request,motion, petition or other document that is notsigned by another cofiduciary if the filingincludes a written statement explaining whythe signature could not be obtained.


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Rule 8

Notice

Section Section8.1 Notice of hearing and decree

8.2 To whom notice is given8.3 Change of address while matter is

pending8.4 Contents of notice of hearing8.5 How notice of hearing given8.6 Streamline notice procedure

Section 8.1 Notice of hearing anddecree

Unless otherwise provided by law or these

rules, the court shall:(1) schedule a hearing or conference, asapplicable, on each motion or petition, includ-ing the courts own motion;

(2) give notice of each hearing or confer-ence in the manner provided in sections 8.2through 8.9; and

(3) send a copy of each decree in themanner provided in section 8.10.

(C.G.S. sections 45a-124, 45a-127 and 51-53; Probate Court Rules, rules 60 and 69.)

Section 8.2 To whom notice is given

(a) The court shall give notice under section8.1 to each:(1) party;(2) attorney of record;(3) fiduciary for a party under section

4.2; and(4) other person required by law.

(b) If a proceeding may affect a charitableinterest or beneficiary, the court shall givenotice to the Attorney General under sec-tion 8.1.

(c) Unless otherwise prohibited by law, thecourt may give notice under section 8.1 to

any person who:(1) requests notice in writing underC.G.S. section 45a-127; or

(2) the court determines has a sufficientinterest in the proceedings.

(C.G.S. section 3-125.)

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8.7 Waiver of notice of hearing

8.8 Address unknown; notice of hearingreturned undelivered

8.9 Notice of hearing for member of mili-tary service

8.10 Notice of decree

Section 8.3 Change of address whilematter is pending

(a) A party shall inform the court and the

fiduciary, if any, of a change in address ofthe party during the pendency of the matter.(b) A fiduciary shall use reasonable efforts

to keep informed of any change in address ofa party to whom the fiduciary owes a fiduciaryduty and shall notify the court of the change.

(c) If there is no fiduciary, a petitioner shalluse reasonable efforts to keep informed ofany change in address of a party during thependency of the matter and shall notify thecourt of the change.

Section 8.4 Contents of notice ofhearing

A notice of hearing or conference shallinclude:

(1) a description of the motion or petitionto be heard or the subject matter of the con-ference;

(2) the time and place of the hearing orconference; and

(3) a list of the names and addresses ofparties, attorneys and others to whom noticeis being sent.

Section 8.5 How notice of hearing given

(a) Unless otherwise required by law, the

court shall give notice of hearing or confer-ence by:

(1) regular mail; or(2) other method that the court deter-

mines necessary to notify a party of thehearing.


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(b) Notice by mail is complete on mailing.(c) Unless otherwise required by law or

directed by the court, the court shall givenotice of hearing or conference at least sevendays before the hearing or conference.

(d) The court shall certify on the record the

date and manner by which notice was given.(e) If, before commencing a hearing or con-ference, the court reschedules the hearing orconference to another date and time, thecourt shall give notice of the rescheduledhearing or conference in accordance with thissection. After commencing a hearing or con-ference at which parties are in attendance,the court may announce the date and timewhen the hearing or conference will continuewithout giving additional written notice.

(C.G.S. sections 45a-125 and 45a-126(b).)

Section 8.6 Streamline notice pro-cedure

(a) Except as provided in subsection (i),the court may, in lieu of scheduling a hearing,use the streamline notice procedure for thematters set forth in subsections (g) and (h).Use of the streamline notice procedure underthis section satisfies a requirement for noticeand hearing under statute or these rules.

(b) When using the streamline notice pro-cedure, the court shall give notice of the rightto request a hearing to each person that thecourt determines is entitled to notice under

section 8.2.(c) A notice of the right to request a hearing

shall include a statement that:(1) the court will, on written request of

a party, schedule a hearing on the motionor petition;

(2) the court must receive the writtenrequest for a hearing on or before the datespecified in the notice; and

(3) the court may approve the motion orpetition without a hearing if a written requestfor a hearing is not received on or before thedate specified in the notice.

(d) The court shall give notice of the rightto request a hearing at least ten days beforethe deadline to request a hearing.

(e) If the court receives a timely writtenrequest for a hearing, the court shall schedulea hearing and give notice of the hearing.

13

(f) If the court does not receive a timelywritten request for a hearing, the court mayapprove the motion or petition. The court maynot deny the motion or petition without sched-uling a hearing and giving notice of thehearing.

(g) Except as provided in subsection (i),the court shall use the streamline notice pro-cedure under this section in the followingmatters:

(1) decedents estates; and(2) trusts.

(h) Except as provided in subsection (i),the court may use the streamline notice pro-cedure under this section in the followingmatters:

(1) an account of a guardian of the estateof a minor;

(2) an account of a conservator of the

estate;(3) a motion to modify visitation orders;(4) a motion to transfer a probate file

between probate courts under C.G.S. section45a-599 or 45a-677 (h);

(5) a motion to transfer a contested chil-drens matter to the Superior Court underC.G.S. section 45a-623 or 45a-715 (g); and

(6) a petition to transfer a conservator-ship matter to another state or accept a trans-fer from another state under C.G.S. section45a-667p or 45a-667q.

(i) The court shall schedule a hearing ratherthan using the streamline notice procedurefor a proceeding specified in subsection (g)or (h) if the court determines that:

(1) the matter is contested or requirestestimony or legal argument;

(2) public notice is required to protect theinterests of a party;

(3) the circumstances related to the par-ticular petition require the conduct of a hear-ing with attendance by a party; or

(4) the matter involves the doctrine of cypres or equitable deviation or the construction

of a document that affects a charitable benefi-ciary or interest.(C.G.S. sections 45a-124 through 45a-

126, 45a-598, 45a-612 and 45a-667p and45a-667q; Probate Court Rules, sections18.1 and 40.16.)


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Section 8.7 Waiver of notice of hearing

(a) A party may waive the partys right tonotice of hearing by filing a written waiverof notice.

(b) A fiduciary identified in section 4.2 maywaive notice of hearing on behalf of the indi-

vidual for whom the fiduciary acts by filing awritten waiver of notice.

Section 8.8 Address unknown; notice ofhearing returned undelivered

(a) Except as otherwise provided by law,if the name or address of a party is unknown,the court may give public notice of a hearing,appoint a guardian ad litem for the person,dispense with notice or take other appro-priate action.

(b) If, before a hearing, notice to a personis returned to the court undelivered, the court

may order additional mail notice. If additionalmail notice would be futile, the court may givepublic notice, appoint a guardian ad litem forthe person, dispense with notice or take otherappropriate action.

(c) If, after the hearing but before a decreeis issued, the court is notified of a newaddress for a person who might not havereceived notice of the hearing, the court maydelay issuance of the decree for a reasonableperiod to allow the person to request anotherhearing or waive notice of hearing. The courtshall give notice of the delay, including the

period and reason for the delay, to each per-son that the court determines is entitled tonotice under section 8.2.

(d) If, after a decree is issued, the court isnotified of a new address for a person whomight not have received notice of the hearing,the court shall send a copy of the decree tothe person and a statement that the personmay wish to consult an attorney.

(e) If a person appears at a hearing forwhich the person did not receive proper

14

notice, the court may proceed with the hear-ing unless:

(1) the court determines, on objectionraised at the hearing, that the person wouldbe prejudiced by the lack of notice; or

(2) the matter is a conservatorship pro-ceeding and the respondent was not person-ally served as required under C.G.S. section45a-649 (a) (2).

(C.G.S. sections 45a-128, 45a-187, 45a-609 (b) and 45a-716 (c); Probate Court Rules,section 40.9.)

Section 8.9 Notice of hearing for mem-ber of military service

(a) A party to a proceeding identified undersection 7.2 (c) who is in the active militaryservice of the United States may file a specialappearance indicating the address to whichnotice can be sent.

(b) If the party does not file a specialappearance under subsection (a), the courtshall appoint an attorney for the party andsend notice of the appointment to each partyand attorney of record.

(c) The court shall not issue a final decisionin a matter identified in section 7.2 (c) unlessthe requirements of subsection (a) or (b) havebeen satisfied.

(Servicemembers Civil Relief Act, 50U.S.C. app. section 521.)

Section 8.10 Notice of decree(a) The court shall send, by regular mail,

a copy of each decree bearing the seal of the

court to each person entitled to notice undersection 8.2.

(b) Unless a different time is required bylaw or directed by the court, the court shallmail the copy of the decree not later than tendays after the date of the decree.

(c) The court shall certify on the decree oron a separate attached page the date thedecree was mailed and the persons to whomthe decree was sent.

(Probate Court Rules, sections 3.1 (b)and 6.5.)


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Rule 9

Counting Time Periods

Section Section9.1 Counting time periods

Section 9.1 Counting time periods

(a) Unless otherwise required by law, aperiod of time shall be calculated using calen-dar days. If a statute or rule establishes aperiod using business days, the period shallbe calculated by excluding Saturdays, Sun-days and holidays.

(b) Unless otherwise required by law, aperiod of time shall be calculated by excluding

the day of the act or event with reference towhich the period runs. If the period is speci-fied in hours, the hour of the act or eventwith reference to which the period runs shallbe excluded.

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9.2 Extension of time period

(c) Unless otherwise required by law, aperiod of time shall be calculated by includingthe last day of the period unless the court isnot open on that day. If the court is not open,the period shall extend through the next daythe court is open.

Section 9.2 Extension of time period(a) A party may request extension of a

period of time established by court order. Therequest shall be in writing and made beforeexpiration of the period.

(b) Unless otherwise required by law, thecourt may act on the request without noticeand hearing. The court shall notify each partyand attorney of record of its decision.


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Rule 10

Continuances

Section Section10.1 Continuation of hearing

Section 10.1 Continuance of hearing(a) On request of a party or on the courts

own motion, the court may continue a sched-uled hearing.

(b) The party seeking a continuance shallfile a written request as far in advance of thescheduled hearing as possible. The requestshall state the reason for the continuance and

indicate whether each party has agreed tothe continuance.

(c) The party seeking a continuance shallsend a copy of the request to each attorneyof record and self-represented party and cer-tify to the court that the copy has been sent.

(d) The court may waive the requirementsof subsections (b) and (c) if strict adherencewill cause injustice.

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10.2 Assessment of expenses if hearing con-

tinued

(e) The court may act on a request for con-tinuance or objection to the request withoutnotice and hearing.

Section 10.2 Assessment of expenses ifhearing continued

(a) If the court grants the request of a partyfor a continuance, the court may assess fees

and expenses against the requesting partyunder C.G.S. section 45a-106 (6), 45a-107(g) or 45a-108 (b).

(b) If the court continues a hearing becausea party or attorney for the party failed to attendthe hearing, the court may assess fees andexpenses against the party under C.G.S. sec-tion 45a-106 (6), 45a-107 (g) or 45a-108 (b).


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Rule 11

Service of Process on Court as Agent

Section11.1 Service of process on court as agent

Section 11.1 Service of process oncourt as agent

(a) If service of process is made on thecourt as agent for service of process for anonresident fiduciary, attorney appearing prohac vice or nonresident personal surety on aprobate bond, the court shall record on theserved papers the date and hour that servicewas made.

(b) Not later than two business days after

service is made on the court, the court shall

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send the original served papers, by certifiedmail, to the fiduciary, attorney or surety anda copy, by regular mail, to the attorney forthe fiduciary or the Connecticut attorneyappearing with the attorney admitted prohac vice.

(c) The court shall retain a copy of theserved papers bearing the notation of thedate and hour of service.

(C.G.S. sections 45a-206 (b), 52-60 and52-61; Probate Court Rules, sections 5.2 (a)

(2) and 35.3 (d).)


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Rule 12

Court-appointed Attorney

Section Section12.1 When attorney appointed

12.2 Appointment from panel of attorneysmaintained by probate court adminis-trator

12.3 Appointment from panel of attorneysmaintained by court

Section 12.1 When attorney appointed(a) The court shall appoint an attorney to

represent a party when appointment isrequired by law.

(b) The court shall appoint an attorney to

represent a party when appointment isauthorized by law and the court determinesthat the appointment is necessary to protectthe interests of the party.

(c) The court shall send a copy of theappointment to each party and attorney ofrecord.

Section 12.2 Appointment from panel ofattorneys maintained by probate courtadministrator

The court shall appoint an attorney for anunrepresented party from the panel of attor-neys maintained by the probate court admin-

istrator when appointment is required in thefollowing matters:(1) commitment for treatment of psychi-

atric disability under C.G.S. section 17a-76or 17a-498;

(2) involuntary placement of a personwith intellectual disability under C.G.S. sec-tion 17a-274;

(3) appointment of a special limited con-servator under C.G.S. section 17a-543a;

(4) commitment for treatment of drug andalcohol dependency under C.G.S. section17a-685;

(5) order of quarantine or isolation underC.G.S. sections 19a-131b and 19a-221;

(6) commitment for treatment of tubercu-losis under C.G.S. section 19a-265 (h);

(7) involuntary appointment of conserva-tor under C.G.S. section 45a-649a;

(8) sterilization under C.G.S. section45a-694; and

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12.4 Court-appointed attorney: Rules of Pro-fessional Conduct

12.5 Duration of appointment12.6 Withdrawal from court appointment

(9) any other statute that requiresappointment of an attorney from the panel.

(Probate Court Regulations, section 13.)

Section 12.3 Appointment from panel ofattorneys maintained by court

(a) Each court shall maintain a panel ofattorneys.

(b) If the appointment of an attorney for anunrepresented party is required by law andthe appointment is not governed by section12.2, the court shall appoint an attorney fromthe panel maintained under subsection (a).

(c) Notwithstanding subsection (b), thecourt may appoint an attorney from the panelmaintained by the probate court administratorfor any matter under this section.

(Probate Court Regulations, sections 13Band 13C.)

Section 12.4 Court-appointed attorney:Rules of Professional Conduct

An attorney appointed to represent a partyunder rule 12 shall advocate for the client inaccordance with the Rules of ProfessionalConduct.

Section 12.5 Duration of appointmentUnless otherwise required by law, the

appointment of an attorney by the court shallcontinue for the duration of the matter in theProbate Court or until further order of thecourt.

(C.G.S. section 45a-649a; Connecticut

Practice Book section, 35a-19 (c).)Section 12.6 Withdrawal from courtappointment

On written request of a court-appointedattorney, the court may permit the attorneyto withdraw from representation of a party.


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The court may act on the request withoutnotice and hearing. If the court grants therequest, the court shall appoint another

19

attorney and notify each party and attorneyof record of the appointment.

(Probate Court Rules, section 5.7.)


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Rule 13

Court-appointed Guardian Ad Litem

Section Section13.1 Mandatory appointment of guardian

ad litem13.2 Discretionary appointment of guardian

ad litem13.3 Scope of appointment13.4 Termination of appointment

Section 13.1 Mandatory appointment ofguardian ad litem

The court shall appoint a guardian adlitem for:

(1) a parent who is a minor or incompe-tent in a proceeding under C.G.S. sections45a-603 through 45a-622 or sections 45a-715 through 45a-719;

(2) a minor child in a proceeding underC.G.S. section 46b-172a;

(3) a parent who is a minor or is incompe-tent in a proceeding under C.G.S. section46b-172a;

(4) a relative in a proceeding underC.G.S. section 45a-751b or 45a-753 (c)whose identity is sought and whose addressis unknown or who appears to be incompetentbut has not been adjudicated incompetent bya court; and

(5) a party in a proceeding under anyother statute or rule that requires appointmentof a guardian ad litem.

(C.G.S. sections 17a-77, 45a-163 (a) and45a-164 (d); Probate Court Rules, section32.3.)

Section 13.2 Discretionary appointmentof guardian ad litem

(a) Except as prohibited by C.G.S. section45a-132, the court may appoint a guardianad litem for a party:

(1) who is a minor;(2) who is incompetent or who appears to

be incompetent but has not been adjudicatedincompetent by a court;

(3) who is undetermined or unborn; or(4) whose name or address is unknown.

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13.5 Who may serve as guardian ad litem

13.6 Duties of guardian ad litem13.7 Instruction and advice from court13.8 Guardian ad litem may appeal from

court order

(b) The court may consider the appoint-ment of a guardian ad litem for a party onrequest of a party or person interested in thewelfare of a party or on the courts ownmotion. The court may act without noticeand hearing.

(c) The court may appoint a guardian adlitem under this section only if the court, afterconsidering the legal and financial interestsat issue, determines that the appointmentis necessary.

(d) In a proceeding involving a conservedperson under C.G.S. section 17a-543, 17a-543a or 45a-644 through 45a-663, the proce-dures under C.G.S. section 45a-132 (a)apply.

(C.G.S. sections 45a-603 through 45a-622and 45a-715 through 45a-719; Probate CourtRules, sections 30.8, 30.9 and 40.2.)

Section 13.3 Scope of appointment

(a) The court may limit the scope ofappointment of a guardian ad litem to a spe-cific purpose or to answer a specific question.

(b) In a proceeding involving a conservedperson under C.G.S. section 17a-543, 17a-543a or 45a-644 through 45a-663, the courtshall limit the scope of appointment of aguardian ad litem in accordance with C.G.S.section 45a-132 (a).

Section 13.4 Termination of appoint-ment

(a) On request of a party or on the courtsown motion, the court may terminate theappointment of a guardian ad litem at anytime if the court determines that a guardian


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ad litem is no longer needed. The court mayact without notice and hearing.

(b) In a proceeding involving a conservedperson under C.G.S. section 17a-543, 17a-543a or 45a-644 through 45a-663, the courtshall terminate the appointment of a guardian

ad litem if required under C.G.S. section 45a-132 (a).

Section 13.5 Who may serve as guard-ian ad litem

(a) The court shall appoint as guardian adlitem an adult whose interests do not conflictwith the interests of the person for whom theguardian ad litem will act.

(b) When appointing a guardian ad litemfor a person, the court shall:

(1) consider whether the interests of theperson require the protection of a guardian adlitem with legal or other professional training;

(2) give preference to a parent, guardianor other family member if the person is aminor, unless the court finds a conflict of inter-est under subsection (a) or that legal or otherprofessional training is required under sub-section (b) (1); and

(3) match the abilities of the guardian adlitem with the needs of the person.

(C.G.S. section 45a-132 (d).)

Section 13.6 Duties of guardian ad litem

(a) A guardian ad litem shall:(1) advocate for the best interests of the

person for whom the guardian is acting; and(2) if the person is a minor, make reason-

able efforts to keep each parent or guardianof the minor who is not a party to the matter

21

advised of the actions of the guardian ad litemand the court.

(b) A guardian ad litem may recommendto the court a waiver, election, modificationor compromise of the rights or interests ofthe person for whom the guardian ad litem is

acting and may, with approval of the court,effectuate the waiver, election, modificationor compromise on behalf of the person.

(c) A guardian ad litem does not have titleto or custody of property of the person forwhom the guardian ad litem is acting.

Section 13.7 Instruction and advicefrom court

(a) On request of a guardian ad litem oron the courts own motion, the court may giveinstruction and advice concerning the dutiesand scope of appointment of the guardianad litem.

(b) A guardian ad litem and the court shallnot engage in ex parte communication.Advice and instruction from the court shallbe provided at a hearing or conference or inwriting with a copy to each party and attorneyof record.

(Probate Court Rules, rule 68.)

Section 13.8 Guardian ad litem mayappeal from court order

A guardian ad litem may appeal from adecree affecting the interests of the personfor whom the guardian ad litem is acting. Sub-

ject to approval of the court, the guardianad litem may incur necessary expenses inconnection with the appeal.

(C.G.S. sections 45a-186 and 45a-187.)


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Rule 14

Referral to Probate Magistrate andAttorney Probate Referee

Section Section

14.1 Referral to probate magistrate andattorney probate referee

14.2 Hearing before probate magistrate orattorney probate referee

14.3 Report of probate magistrate or attorneyprobate referee

Section 14.1 Referral to probate magis-trate and attorney probate referee

(a) Except for a matter involving involuntary

conservatorship, involuntary commitment ortemporary custody of a minor, the court, withthe consent of each party or attorney for theparty, mayrefer a contested petition or motionto a probate magistrate or attorney probatereferee. The court shall file a notice of referraland request for assignment of a magistrate orreferee with the probate court administrator.

(b) If sufficient funds are available and theadministrator determines that assignment ofa magistrate or referee is appropriate, theadministrator shall assign a magistrate or ref-eree to hear the petition and file a report.The administrator shall assign a magistrateor referee from the panel of magistrates orreferees appointed by the Chief Justice of theSupreme Court of Connecticut.

(c) The court shall notify each party andattorney of record of the assignment of a mag-istrate or referee under this section.

(C.G.S. sections 45a-123 and 45a-123a.)

Section 14.2 Hearing before probatemagistrate or attorney probate referee

(a) Unless a continuance is granted, a pro-bate magistrate or attorney probate refereeshall commence the hearing on the referred

petition not later than 21 days after theassignment under section 14.1 (b).

(b) The magistrate or referee shall have allthe powers available to a probate judge inthe management of a hearing or conferenceon the petition or motion, including, but not

22

14.4 Amendment to report14.5 Objection to report or amendment14.6 Hearing on report14.7 Issuance of decree on report14.8 Continuance or deferral of court action

pending decision on report

limited to, the authority to supervise discov-ery, compel the attendance of witnesses andexercise contempt powers.

(c) The magistrate or referee shall cause anaudio recording to be made of each hearingunder this section. Unless otherwise agreedby the parties under C.G.S. section 51-72, ahearing under this section is not a proceedingon the record for the purposes of an appealunder C.G.S. section 45a-186 (a).

(Probate Court Rules, rule 65.)

Section 14.3 Report of probate magis-trate or attorney probate referee

(a) Not later than 60 days after the conclu-sion of the hearing on the petition referred

under section 14.1, the probate magistrate orattorney probate referee shall file a reportwith the referring court.

(b) The report under this section shall con-tain, in separate and consecutively numberedparagraphs, findings of fact and conclusionsof law regarding the petition.

(c) Not later than two business days afterthe magistrate or referee files the report, thecourt shall send a copy of the report to eachparty and attorney of record.

(C.G.S. section 45a-123.)

Section 14.4 Amendment to report

(a) The probate magistrate or attorney pro-bate referee may file an amendment to thereport at any time before the court accepts,modifies or rejects the report.


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(b) Not later than two business days afterthe magistrate or referee files an amendment,the court shall send a copy of the amendmentto each party and attorney of record.

(C.G.S. section 45a-123.)

Section 14.5 Objec

probate court rules of procedure

Documents